401(k) · DOL Form 5500 · 2023

Roth Capital Partners, LLC 401(k) Plan

Data updated 2026-08-25

$55M
Total assets Below avg plan size
213
Participants Below avg headcount
86th
Percentile by assets National rank
$256,619
Avg per participant Above avg balance/head
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Official DOL plan name: Roth Capital Partners, LLC 401(k) Plan · Sponsored by Roth Capital Partners, LLC · California · Finance & Insurance

$55M in assets, 213 participants

Roth Capital Partners, LLC's Roth Capital Partners, LLC 401(k) Plan reported $55M in total assets and 213 participants in its 2023 DOL Form 5500 filing, ranking in the 86th percentile by assets among filed plans. Figures are as reported by the plan sponsor to the Department of Labor, not audited or endorsed by PlainRetire.

  • #7,025 in Finance & Insurance (8,869 peers)

Coverage in California

Roth Capital Partners, LLC 401(k) Plan covers 213 participants in California, about 34% of the average California filer (state average ~630 per filing). Assets: $55M.

#7,025
in Finance & Insurance (8,869 peers)
+20.3%
assets growth YoY
0.5×
vs typical plan assets (national mean)

Roth Capital Partners, LLC 401(k) Plan's outsized position by total assets

Roth Capital Partners, LLC 401(k) Plan vs every filed plan by assets

End-of-year total assets · plan year 2023 · DOL Form 5500

$54,659,923 Top 14% higher than 86% of 127,068 filed plans

This plan $0 $2,050,000,000 every filed plan with reported assets, bucketed by value

Dashed line + filled bar = this entry, among filed plans.

Source U.S. Department of Labor Form 5500 filings (EBSA) · plan year 2023

Roth Capital Partners, LLC 401(k) Plan among mid-size filed plans by headcount

Plan-year 2023 Form 5500 filings with a reported participant count, partitioned by headcount band, not by assets. Roth Capital Partners, LLC 401(k) Plan sits mid-pack in the medium band (213 participants).

What changed between DOL Form 5500 filings

plan year 2022 → plan year 2023

  • Roth Capital Partners, LLC 401(k) Plan reported participants rose from 147 in the plan year 2022 filing to 213 in the plan year 2023 filing.
  • Roth Capital Partners, LLC 401(k) Plan reported net income fell from $13M in the plan year 2022 filing to $9M in the plan year 2023 filing.
  • Roth Capital Partners, LLC 401(k) Plan end-of-year assets rose from $45M in the plan year 2022 filing to $55M in the plan year 2023 filing.

See the national 2022→2023 release diff →

DOL schedule card

Filing strip 330947643 · Roth Capital Partners, LLC PY 2023 · 401(k)

Roth Capital Partners, LLC 401(k) Plan · $55M · 213 · 86th

  • EOY $55M
  • EOY 213
  • EOY 86th
  • EOY 401(k)
  • EOY near Central Bank 401(k) Profit Sharing Plan
  • EOY ind #7025

Stamps derive from this plan's Form 5500 line items (assets, participants, type, EIN, cohort placement) - not a quality rating of the sponsor. Read with Finance & Insurance retirement plans → · Plans in California →

Roth Capital Partners, LLC 401(k) Plan in the asset neighbourhood

Ellington Management Group 401(k) & Profit Sharing PlanEllington Management Group 4…$55MAlpla 401(k) Retirement Plan$55MRoth Capital Partners, LLC 401(k) PlanRoth Capital Partners, LLC 4…$55MCentral Bank 401(k) Profit Sharing PlanCentral Bank 401(k) Profit S…$55MDentons Durham Jones Pinegar P.C. 401(k) Retirement Savings PlanDentons Durham Jones Pinegar…$55M
End-of-year total assets ($M) among Roth Capital Partners, LLC 401(k) Plan and nearest nationwide 401(k) peers. Source: DOL Form 5500 plan year 2023.

California filing particulars

Total Assets (Beginning of Year)$45M
Net Assets (End of Year)$55M
Net Income$9M
Employer EIN330947643
Plan Effective Date1992-07-01
Filing StatusFILING RECEIVED

Sponsor Plan History (Roth Capital Partners, LLC)

Sponsor-wide plan assets over time

All Roth Capital Partners, LLC plans reported in each filing year

Latest sponsor-wide plan assets
$65M 42.9837393711079% vs 2022
2024 filing year
$40M$50M$60M$70M 202220232024 $45.5M $65M ▲ +43.0%
Year Plans Participants Total Assets
2022 1 147 $45M
2023 1 213 $55M
2024 1 208 $65M

Nearby 401(k) Plans in California

Peer 401(k) plans, same state, same plan type, ranked by total assets.

Roth Capital Partners, LLC 401(k) Plan vs. nearby 401(k) plans in California, assets vs. participants Scatter plot of 6 data points. -50000050000100000150000200000250000 -200204060 Total assets ($B) Participants Roth Capital Partners, LLC 401(k) Plan, Total assets ($B): 0.054659923 · Participants: 213Roth Capital Partners, LLC 401(k) PlanWells Fargo & Company 401(k) Plan, Total assets ($B): 51.831350351 · Participants: 193919Wells Fargo & Company 401(k) PlanGoogle LLC 401(k) Savings Plan, Total assets ($B): 39.047152408 · Participants: 122867Google LLC 401(k) Savings PlanOracle Corporation 401(k) Savings and Investment Plan, Total assets ($B): 26.320437734 · Participants: 63105Oracle Corporation 401(k) Savings and Investment PlanIntel 401(k) Savings Plan, Total assets ($B): 22.17918189 · Participants: 59863Intel 401(k) Savings PlanApple 401(k) Plan, Total assets ($B): 19.779511539 · Participants: 106111Apple 401(k) Plan
Roth Capital Partners, LLC 401(k) Plan vs. nearby 401(k) plans in California, assets vs. participants
Compare Roth Capital Partners, LLC 401(k) Plan side-by-side with 3 peers →

Roth Capital Partners, LLC 401(k) Plan's out-of-state 401(k) peers by assets and headcount

Outside California, the nearest 401(k) by assets is Central Bank 401(k) Profit Sharing Plan in UT ($55M); by covered participants it is Bnccorp, Inc. 401(k) Savings Plan in ND (213 participants). Same-state nearby plans are listed separately above.

Similar participant headcount

Nearest other-state filings by covered participants (213 participants); asset peers above are excluded.

DOL Form 5500 plan year 2023. Asset totals can differ widely at the same headcount; neither axis is a quality rating.

Frequently Asked Questions

How did Roth Capital Partners, LLC 401(k) Plan assets move in 2023? ▼
Roth Capital Partners, LLC 401(k) Plan grew sharply - up 20.3% during 2023, from $45M to $55M. Reported net income was $9M.
How have Roth Capital Partners, LLC plan assets changed over time? ▼
Across 3 plan years on file (2022-2024), Roth Capital Partners, LLC's sponsor-wide assets grew 43.0%, from $45M to $65M.
Where does Roth Capital Partners, LLC 401(k) Plan rank by assets among Form 5500 filers? ▼
Roth Capital Partners, LLC 401(k) Plan ranks in the 86th percentile by end-of-year assets among 127,072 plans that reported assets for plan year 2023 (in the top quartile of all filed plans by assets).
Which 401(k) plans are similar in size to Roth Capital Partners, LLC 401(k) Plan? ▼
Among 401(k) plans in other states, the closest by assets is Central Bank 401(k) Profit Sharing Plan in UT ($55M, 277 participants).
Which 401(k) plans cover a similar participant headcount to Roth Capital Partners, LLC 401(k) Plan? ▼
Among 401(k) plans in other states, the closest by covered participants is Bnccorp, Inc. 401(k) Savings Plan in ND (213 participants, $38M in assets).

Source: U.S. Department of Labor, Employee Benefits Security Administration (EBSA), Form 5500 public disclosure dataset. Plan year 2023.

Source: DOL EFAST2 filing system (efast.dol.gov) - original filing retrieval by EIN 330947643.

Read our methodology - how this data is sourced, computed, and verified.

Data sourced from U.S. Department of Labor Form 5500 filings (EBSA). See our methodology for details.